Ronald James Roberts
Professional Summary
Ronald James Roberts, who also goes by Ron Roberts, is a registered financial advisor currently at SIEBERT ADVISORNXT, LLC. located in Miami, Florida and MURIEL SIEBERT & CO., LLC located in Miami, Florida. Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Ronald has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ron Roberts
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.
Contact Information
Main Address
300 Vesey Street 5th Floor, New York, NY, 10282Mailing Address
653 Collins Avenue, Miami Beach, FL 33139Phone Number
(800) 872-0444# of Employees
43SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
973AUM (Assets Under Management)
$391,509,579Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.
State Registrations and Notice Filings
(7/11/2019)
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 12 — NYSE Branch Manager Examination
Passed Mar 1998SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Ronald James Roberts's CRS (Customer Relationship Summary).
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